RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · Plymouth, Mn
• W•••••• • R••• former
  May 2, 2016 to Jul 21, 2021 · Savage, Mn
• U•• F•••••••• S••••••• I••• wirehouse
  Dec 16, 2010 to May 10, 2016 · Minneapolis, Mn
• N•••••• F•••••••• G••••• I••• independent RIA
  Feb 16, 2005 to Dec 1, 2010 · New Prague, Mn
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Jan 6, 2005 · Bloomington, Mn
• P••••••••• E••••• G••••• L•• unclassified
  Feb 3, 1995 to Jul 1, 2003 · Minneapolis, Mn

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to W•••••• • R•••
  left May 10, 2016, registered May 2, 2016 (-8 days) · Other
• N•••••• F•••••••• G••••• I••• to U•• F•••••••• S••••••• I•••
  left Dec 1, 2010, registered Dec 16, 2010 (15 days) · Other
• W•••• F•••• A••••••• to N•••••• F•••••••• G••••• I•••
  left Jan 6, 2005, registered Feb 16, 2005 (41 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Broker-dealer affiliated wealth managerderived

Years in industry

45derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address